July 28, 2022/US SEC On July 27, 2022, the Securities and Exchange Commission filed an action against GP Capital Group, Inc., a Wyoming corporation headquartered in Corona, California, and its president Shannon W. Illingworth, of Jenks, Oklahoma, seeking an order directing them to comply with investigative subpoenas for documents. According […]
Frauds & Scandals
SEC Charges Pharma Insider and Two Relatives with Insider Trading
July 28, 2022/US SEC The Securities and Exchange Commission today charged Dr. Pablo Rubinstein, Eduardo Rubinstein, and Mark Klein for insider trading in the securities of Ampio Pharmaceuticals, Inc. before a negative announcement concerning one of the company’s flagship developmental drugs on August 7, 2018. According to the SEC’s complaint, […]
SEC Charges JPMorgan, UBS, and TradeStation for Deficiencies Relating to the Prevention of Customer Identity Theft
July 27, 2022/US SEC The Securities and Exchange Commission today separately charged J.P. Morgan Securities LLC, UBS Financial Services Inc., and TradeStation Securities, Inc. for deficiencies in their programs to prevent customer identity theft, in violation of the SEC’s Identity Theft Red Flags Rule, or Regulation S-ID. According to the […]
